Job responsibilities :
Work closely with portfolio managers and trading team to monitor pre-trade and posttrade activities (using Bloomberg system) and providing real time support on trading restrictions, monitoring and approvals
Reporting and escalating investment breaches internally and to investigate issues where appropriate
Acting as the primary point of contact for investment compliance enquiries in relation to fixed income and equity investments, as well as liaisons with regulator(s)
Acting as the primary contact point of custodian(s) / trustee(s) and other counterparties including reviewing their investment restrictions setup, handling due diligence matters, breach reporting and on-site visits etc.
Investment rules coding and new client onboarding reviewing and testing investment restrictions and programming new investment rules (using Bloomberg system) in accordance with client and regulatory requirements
Managing the regulatory reporting process and coordinating with auditors, fund accountants and other service providers
On-going monitoring, identifying and reviewing risks regularly and recommend remedial and mitigation measures
Handling relevant internal reporting and regulatory reporting in relation to investment compliance
Requirements :
5 years or above of experience in investment compliance on the buy side
Strong coding experience in investment compliance monitoring using Bloomberg system
Solid knowledge of fixed income and equities investments and familiar with derivatives instruments
Excellent communication skills and ability to build good working relationships with internal stakeholders
Proficient in Microsoft applications including MS Excel VBA, Word and PowerPoint
Experience with an asset manager focusing on regulatory reporting and / or fund administration is a definite advantage
A good team player, mature, responsible, detail minded, with the ability to handle multiple tasks independently under pressure
Interested parties please send your resume to amandaso achievers.com.hk Personal data collected will be used for recruitment purpose only
